DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Guggenheim Investments

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
William F Blattner	Pruco Securities, LLC other	Guggenheim Investments other	Other	Jul 23, 2007	Jul 23, 2007
Thomas Andrew Marik	Invesco Aim Private Asset Management, Inc. unclassified	Guggenheim Investments other	Other	Jul 17, 2007	Jul 23, 2007
Eugene Everett Peroni	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	Jun 5, 2007	Mar 19, 2004
Carlos Jesus Gonzalez	Ameriprise Financial Services, LLC national BD	Guggenheim Investments other	Other	Mar 14, 2007	Mar 19, 2007
Bryan Robert Huhn	Ameriprise Financial Services, LLC national BD	Guggenheim Investments other	Other	Mar 12, 2007	Mar 19, 2007
Catherine Junell Nettles	Morgan Stanley Dw Inc. unclassified	Guggenheim Investments other	Other	Sep 8, 2006	Mar 19, 2007 (192 d)
Vanessa L Pfaff	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Guggenheim Investments other	Other	May 22, 2006	May 30, 2006
Kevin S. Clark	UBS Financial Services Inc. wirehouse	Guggenheim Investments other	Other	Feb 6, 2006	Mar 1, 2006
Peter Vlagos	Zacks Investment Management, Inc. other	Guggenheim Investments other	Other	Oct 26, 2005	Oct 5, 2005
Anthony Piazza	Amundi Asset Management US, Inc. other	Guggenheim Investments other	Other	Oct 24, 2005	Jul 23, 2007 (637 d)
Matthew William Boren	Wells Fargo Investments, LLC unclassified	Guggenheim Investments other	Other	Oct 19, 2005	Mar 19, 2007 (516 d)
Greg Joseph Kyles	Van Kampen Advisors Inc unclassified	Guggenheim Investments other	Other	Oct 17, 2005	Oct 19, 2005
Jose Dejesus Cervantes	Chase Investment Services Corp. other	Guggenheim Investments other	Other	Sep 8, 2005	Sep 12, 2005
Sean Michael Lynch	A. G. Edwards & Sons, Inc. unclassified	Guggenheim Investments other	Other	Aug 25, 2005	Sep 12, 2005
Lloyd Elbert Pegues	Edward Jones national BD	Guggenheim Investments other	Other	Aug 11, 2005	Sep 12, 2005 (32 d)
Rikka Marie Erway	Ryan Beck & Co. unclassified	Guggenheim Investments other	Other	Jun 2, 2005	May 31, 2005
Andrew John Raia	Equitable Advisors, LLC national BD	Guggenheim Investments other	Other	Nov 11, 2004	Nov 9, 2004
Daniel Martin Swallow	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	Jul 1, 2004	Mar 15, 2004
Anthony Robert Saba	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	Jul 1, 2004	Mar 11, 2004
Matthew E Griffin	Dws Investment Management Americas, Inc. other	Guggenheim Investments other	Other	Jun 24, 2004	Jun 22, 2004
John Joseph Osullivan	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 25, 2004	Mar 15, 2004
John Richard Devries	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 11, 2004	Mar 15, 2004
Peter Joseph Catalano	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 11, 2004	Mar 10, 2004
Amy Lynn Sullivan	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 11, 2004	Dec 2, 2003
Richard Shane Johnson	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 11, 2004	Mar 11, 2004
Gregory Brian Clarkin	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 11, 2004	Mar 11, 2004
Inger Margit Jansen	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 10, 2004	Mar 15, 2004
Christopher Mcfaddin Clegg	Guggenheim Funds Distributors, LLC other	Guggenheim Investments other	Other	May 10, 2004	Mar 11, 2004
Aaron Thomas Cates	Berthel Fisher & Company Financial Services, Inc. other	Guggenheim Investments other	Other	May 4, 2004	May 4, 2004
Ryan T Galardi	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Guggenheim Investments other	Other	Apr 14, 2004	Apr 28, 2004
Anthony Joseph Sendra	Morgan Stanley Dw Inc. unclassified	Guggenheim Investments other	Other	Nov 5, 2002	Mar 19, 2004 (500 d)

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31 moves match.